Establish an operational envelope

The operating envelope is intended to capture the expected in-service environmental
and operational data. It is not required by the Code but is a useful concept for
establishing operational limitations

Define operational and rescue limitations

The limitations, or design parameters, for the ship can be defined based on the operational
envelope. Various tools can be used for translating the environmental data into design
parameters. For example, POLARIS can be used for converting the expected ice conditions
into a required ice class.

Assess existing operating envelope

The operating envelope is intended to capture the expected in-service environmental
and operational data. It is not required by the Code but is a useful concept for
establishing operational limitations.

Define operational and rescue limitations

The limitations, or design parameters, for the ship can be defined based on the operational
envelope. Various tools can be used for translating the environmental data into design
parameters. For example, POLARIS can be used for converting the expected ice conditions
into a required ice class.

Anticipate the limitations for the Polar Ship Certificate

Based on the defined limitations, the content of the Polar Ship Certificatelimitations can
be anticipated.

Do the limitations and operating envelope align?

The shipowner or operator should check that the anticipated limitations align with the
expected operations.

Revise the operating envelope

If the anticipated limitations appear too restrictive for the expected operations, the
operating envelope should be revised or the operational profile revisited.

Confirm corporate operational profile

Existing operational procedures

Existing operational procedures from the company's SMS should be
used as a baseline and may be accessed during the initial compliance
evaluation or during the operational assessment to understand the
current extent of operational measures to mitigate Polar Code hazards.

The outline specification collates the main design parameters identified by the
shipowner or operator based on the operating envelope and the anticipated limitations.

Outline Polar Code specification requirements

The outline Polar Code specification requirements should be sufficient
for the majority of main pricing issues to be identified. However, until
the operational assessment is undertaken there is a risk that additional
equipment may be required.

Existing winterisation plan

If the ship has an existing winterisation plan, this will assist
in determining the existing level of equipment and systems on board and
may be used to substantiate the assumptions in the initial compliance
check.

Specification from new build

If the building specification is available, this will assist in
establishing the capability of the existing equipment and systems on
board.

Initial survey (if required)

In order to understand the level of existing equipment and systems
onboard and their suitability to meet the Polar Code requirements, an
initial survey may be carried out. This may simply be an "inventory
check" by the operator with respect to the current condition of the
ship.

Initial Polar Code compliance evaluation

Before the operational assessment, it is recommended that a review
of the ship's existing equipment, systems and operational procedures is
undertaken to determine how closely the ship complies with the Code's
requirements.

Gaps in required equipment or systems identiﬁed?

If significant gaps in equipment and system requirements are
identified against the Code's proscriptive requirements, the operating
envelope may have to be revised.

Existing winterisation plan

If the ship has an existing winterisation plan, this will assist
in determining the existing level of equipment and systems on board and
may be used to substantiate the assumptions in the initial compliance
check.

Specification from new build

If the building specification is available, this will assist in
establishing the capability of the existing equipment and systems on
board.

Initial survey (if required)

In order to understand the level of existing equipment and systems
onboard and their suitability to meet the Polar Code requirements, an
initial survey may be carried out. This may simply be an "inventory
check" by the operator with respect to the current condition of the
ship.

Initial Polar Code compliance evaluation

Before the operational assessment, it is recommended that a review
of the ship's existing equipment, systems and operational procedures is
undertaken to determine how closely the ship complies with the Code's
requirements.

Pre shipbuilding contract

Pre or post shipbuilding contract

Post shipbuilding contract

Operational assessment

The operational assessment defines the shipowner or operator's complete approach to Polar Code
compliance for the expected operations. If the outline specification requirements are well defined,
the operational assessment becomes more simple – and in the majority of cases becomes a formal
validation of decisions on anticipated equipment and operations made earlier.

List of operational procedures

The operational assessment should output a list of procedures identified as
means of meeting Polar Code requirements and addressing the risk of polar hazards.

Assessment report

The operational assessment should output a report to describe the process undertaken and
the decisions made by the shipowner or operator in terms of mitigating polar hazards
through equipment, procedures or both. Although the operational assessment is not
approved, the output of the assessment is reviewed to ensure that Polar Code hazards
have been addressed through operational procedures and/or equipment.

List of winterisation equipment

The operational assessment should output a list of equipment identified as means
of meeting Polar Code requirements and addressing the risk of polar hazards. This may
be a validation that earlier equipment anticipated is sufficient.

Operational assessment review

The operational assessment defines the shipowner or operator's complete approach to Polar Code
compliance for the expected operations. If the outline specification requirements are well defined,
the operational assessment becomes more simple – and in the majority of cases becomes a formal
validation of decisions on anticipated equipment and operations made earlier.

Final Polar Code specification

The list of winterisation equipment should be incorporated into the final shipbuilding specification.

Ship design development

The shipyard or designer will take the final specification of
winterisation equipment and systems and incorporate them into the ship
design.

Update SMS

The operator should incorporate any updates or additional procedures according to their safety management system (SMS).

System drawings etc...

In addition to the winterisation plan, detailed plans and
drawings will be produced that incorporate the winterisation
requirements. These drawings will be reviewed as part of the Polar Code
compliance assessment.

PWOM

The polar waters operating manual (PWOM) should be developed to
include all operational procedures identified from the operational
assessment in addition to procedures explicitly required in Chapter 2 of
the Polar Code. Although the PWOM is not an approved document, the
content will be reviewed as part of the compliance assessment to ensure
that it aligns with the list of operational procedures generated by the
operational assessment.

Winterisation plan

For ships intended to operate in low air temperature, a
winterisation plan is recommended as a means of capturing all
winterisation requirements in one overall system drawing. The final
winterisation plan may be included in the Polar waters operating manual
(PWOM) as supporting information.

Operational Assessment

The operational assessment defines the shipowner or operator's
complete approach to Polar Code compliance for the expected operations.
If the initial Polar Code compliance evaluation has been undertaken in
detail, the operational assessment becomes a validation of that
evaluation and a means to ensure all polar hazards are suitably
mitigated by existing equipment and procedures or to identify what new
equipment/procedures are required.

Assessment report

The operational assessment should output a report to describe the
process undertaken and the decisions made by the shipowner or operator
in terms of mitigating polar hazards through equipment, procedures or
both. Although the operational assessment is not approved, the output of
the assessment is reviewed to ensure that Polar Code hazards have been
addressed through operational procedures and/or equipment.

Requirements met by existing procedures only?

For spot market Category C ships it may be the case that, based on
the outcome of the operational assessment, all relevant Polar Code
requirements are met by operational procedures (i.e. no need for
equipment) in which case a short-term Polar Ship Certificate may be
issued.

Updates to existing procedures

The operational assessment should output a list of procedures
identified as means of meeting Polar Code requirements and addressing
the risk of polar hazards. These may align with existing procedures, or
the procedures may require updating.

(Updated) winterisation plan

Where the operational assessment requires additional equipment or
systems, it is recommended that they are documented on a winterisation
plan. This will also enable existing equipment and systems, identified
in the initial survey, to be documented.

Updates to existing procedures

The operational assessment should output a list of procedures
identified as means of meeting Polar Code requirements and addressing
the risk of polar hazards. These may align with existing procedures, or
the procedures may require updating.

Polar Waters Operating Manual (PWOM)

The PWOM should be developed to include all operational
procedures identified from the operational assessment in addition to
procedures explicitly required in Chapter 2 of the Polar Code. Although
the PWOM is not an approved document, the content will be reviewed as
part of the compliance assessment to ensure that the PWOM content aligns
with the list of operational procedures generated by the operational
assessment. The PWOM may be a collation of existing procedures or a
cross-referencing tool to procedures located elsewhere in the ship's
onboard documentation.

(Updated) equipment list or change in operating envelope

The output of the operational assessment may include additional
equipment requirements. New equipment may need to be purchased.
Alternatively, the operational assessment may conclude that omitting
additional equipment may lead to a reduced operating envelope.

Polar Waters Operating Manual (PWOM)

The PWOM should be developed to include all operational
procedures identified from the operational assessment in addition to
procedures explicitly required in Chapter 2 of the Polar Code. Although
the PWOM is not an approved document, the content will be reviewed as
part of the compliance assessment to ensure that the PWOM content aligns
with the list of operational procedures generated by the operational
assessment. The PWOM may be a collation of existing procedures or a
cross-referencing tool to procedures located elsewhere in the ship's
onboard documentation.

(Updated) ship plans and particulars (drawings)

If the operational assessment concludes that additional equipment
or systems are required, existing drawings/plans for the ship may
require updating.

Application for short-term certificate

An application should be made to the flag Administration or
Recognised Organisation for a short-term Certificate. It should include
the assessment report and the PWOM. It is recommended that the flag
Administration or Recognised Organisation be approached as early as
possible to ensure all relevant requirements are met.

Polar Code compliance assessment

A Polar Code compliance assessment is the means by which the flag
or the RO reviews the output of the operational assessment and how the
outputs have been implemented in the ship's design and the operational
procedures.

Reassessment required?

If the compliance assessment identifies inconsistencies in the
operational assessment approach or gaps between the hazards identified
and the means of mitigating the hazards, the operational assessment may
be required to be re-run, either in part or totally.

Appraisal document

An appraisal document is generated to indicate any comments or
revisions necessary following the compliance assessment. The appraisal
document will indicate the limitations that will be included on the
Polar Ship Certificate. The appraisal document will also identify the
scope of the onboard confirmation survey required.

System and drawing updates required?

Where the compliance assessment identifies inconsistencies or
missing information in the submitted documentation, the documentation
may need to be updated.

Polar code compliance assessment

A Polar Code compliance assessment is the means by which the flag
or the RO reviews the output of the operational assessment and how the
outputs have been identified. Either existing equipment or procedures
should be identified in the report, or the need for new
procedures/equipment indicated and listed.

Reassessment required?

If the compliance assessment identifies inconsistencies in the
operational assessment approach or gaps between the hazards identified
and the means of mitigating the hazards, the operational assessment may
be required to be re-run, either in part or totally.

Short-Term Certiﬁcate?

If the ship is intending to operate for a single voyage in polar
regions as a Category C ship and the Code requirements are met only by
operational procedures, then a short-term Certificate, valid for one
voyage, may be issued.

Appraisal document

An appraisal document is generated to indicate any comments or
revisions necessary following the compliance assessment. The appraisal
document will indicate the limitations that will be included on the
Polar Ship Certificate. The appraisal document will also identify the
scope of the onboard confirmation survey required.

Onboard confirmation survey

An onboard survey is undertaken to confirm the systems and
equipment identified from the compliance assessment are present and that
the polar water operating manual (PWOM) is onboard.

Polar Ship Certificate

Following successful completion of the survey, the Polar Ship Certificate is issued.

Record of Equipment

Following successful completion of the survey, the Record of Equipment is issued.

PWOM

The PWOM is required to be on board and should be maintained in
line with the shipowner or operator's safety management system.

Polar code compliant ship

Short-term Polar Ship Certificate

Following successful completion of the survey, the Polar Ship Certificate is issued.

Record of Equipment

Following successful completion of the survey, the Record of Equipment is issued.

PWOM

The PWOM is required to be on board and should be maintained in
line with the shipowner or operator's safety management system.